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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?

A) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
B) up to 5 years in prison and a fine of $1,500,000 or both
C) up to 3 years in prison, a $5,000 fine, or both
D) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided

2. "T + 3" refers to

A) the form that is filled out and sent to the client confirming that the trade has been executed.
B) a procedure to minimize the potential for money laundering.
C) the fact that the settlement date will be three business days after the trade date, which is the "regular
way settlement" for transactions involving stocks and corporate and municipal bonds.
D) the form, also known as a "trade ticket," that is filled out when an order is entered into the market.

3. The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain
their records for at least

A) seven years.
B) three years.
C) Investment advisers must maintain their records for as long as they remain registered with the state.
D) five years.

4. Under the Uniform Securities Act (USA), which of the following statements would be disallowed?

A) Neither the statements in Selections B or C would be allowed under the guidelines of the Uniform
Securities Act.
B) A sales representative of GetErDone Broker-Dealers guarantees that a client can expect an average
annual rate of return of 2% on a mutual fund investment the sales representative is selling, pointing to the
fact that the fund has returned an average annual rate of return of 6% over the past ten years.
C) An insurance company guarantees a fixed payment of $300 a month for life on an annuity it is selling.
D) The government of the U.S. guarantees a 3% interest rate, to be paid semiannually, on a new 5-year
Treasury note.

5. An investment adviser may act as a custodian for a client's securities if
I. the Administrator of the state doesn't have a rule prohibiting custodial arrangements.
II. he informs the state Administrator in writing that he will be acting as a custodian for the client.
III. he arranges to pay an independent certified public accountant to perform an unannounced audit of his
books each year so that the accountant can report his findings to the state Administrator.

A) I only
B) I and II only
C) I and III only
D) I, II and III

Solutions: